A rare opportunity to acquire a fully licensed Exempt Market Dealer (EMD) business registered with the Ontario Securities Commission (OSC), combined with Financial Services Regulatory Authority (FSRA) mortgage brokerage and mortgage administration licenses. This turnkey, licensed platform allows the buyer to facilitate exempt market securities transactions, including raising capital and offering securities to the broadest spectrum of accredited investors in Ontario, while also operating a mortgage origination and administration business.

The platform is well positioned to meet growing demand and regulatory requirements for alternative investment products, private credit, and real estate backed strategies, and is structured for immediate operation.

Key Highlights:

Registration: Fully approved and operational Exempt Market Dealer in Ontario, together with FSRA Mortgage Brokerage and Mortgage Administration licenses

Regulatory Compliance: Established compliance frameworks across both securities and mortgage regulation, including client onboarding, mortgage and investor administration, reporting, supervision, and ongoing regulatory compliance

Turnkey Opportunity: Includes documented policies, operational procedures, compliance manuals, templates, and administrative systems

Hybrid Licensing Platform Advantage: Enables exempt market capital raising alongside regulated mortgage origination and administration within a single Ontario-based platform, providing access to the broadest spectrum of suitable investors

Growth Potential: Ideal for businesses expanding into exempt markets, private credit, or real estate lending, as well as new entrants seeking a regulated foothold in Ontario

Clean Compliance History with no liabilities

Ideal Buyer:

This opportunity is well suited for financial institutions, wealth management firms, family offices, private lenders, mortgage investment corporations, or entrepreneurial operators seeking to diversify into exempt market securities and private real estate credit.

Advantages of an Ontario Based EMD and FSRA Platform:

Access to a Broader Investor Base
An EMD registration allows engagement with accredited and eligible investors under Ontario securities law, expanding the potential investor base.

Facilitation of Capital Raising
The platform supports capital raising through exempt market offerings, including investments in private companies and real estate-related strategies.

Portfolio Diversification
Enables distribution of alternative investment products not typically available in public markets, supporting broader portfolio construction.

Regulatory Compliance and Credibility
Dual oversight under OSC and FSRA frameworks reinforces disciplined compliance, due diligence, and client suitability standards.

Flexibility in Investment and Lending Offerings
Supports a range of exempt market securities alongside regulated mortgage origination and administration activities.

Reason for Sale:

Ownership is planning retirement approximately three years out and is focused on other ventures, while remaining open to a strategic transaction or partnership.

Next Steps:

This is a unique opportunity to acquire a regulated Ontario-based exempt market and mortgage platform and capitalize on continued growth in alternative investments and private credit. Qualified parties are encouraged to inquire for further details.